Document Archive
Introduction
Purpose
The document contains instructions and directives on conduct within the company about document control. To make tasks transferable to others and to promote communication in a structured and traceable fashion. Reducing miscommunication between parties externally and internally. In the context of the ISO-9001:2015 this is the start of a QMS (Quality Management System).
Documents/Files
By documents is meant the files that go out (published) to third parties as well as internal departments. An e-mail in or out can also be considered a document depending on the information it contains. Each new document always starts by using a template. If a template is not available for the type of document, it needs to be created.
Goals
What is the goal with this document:
- All company information is traceable to its source. (By using references or otherwise.)
- Documents within the company have a single source. (No duplication of any sorts.)
- Published documents (i.e. sent to customers) are frozen and traceable.
Requirements
For it all to play out, all users must be disciplined and this QA work-instruction must be available at every workstation in paper and/or as a shortcut on desktop providing the latest issue/version.
References/Referencing
Each document leaving the company has a reference to the document which can be traced back to the original.
When a document is digital, the prefix of the filename is always the reference.
A reference is formed by two alphanumeric parts separated by using any of these characters [./\:;]
depending on what is allowed by applications or file system.
The 2-parts are:
- Context of the document (i.e. Project number)
- Type/Date/User Initials/Revision (i.e. QW220124AVO)
In e-mail subject is prefixed with project-number setting the context for increased efficiency.
Shortcomings in archiving rules should not lead to employees setting up their own system.
Rules are adapted and amended as soon as shortcomings are identified.Files that can be traced by one person are not traceable at all.
Projects and Activities
The first go to for archiving is the project an employee is working on. This means that for each activity that generates documents, a storage location is provided. Most project documents are communication based. Exceptions are made for specific purposes and are properly documented. Exceptions for departments like software development, sales and embedded are inevitable.
Security
Users are put in categories/groups which grant read and/or write access to archive resources. For this, a security matrix is set up to make it more insightful for everyone and for audit purposes.
Projects / Activities
What is a Project?
Explanation
A project is defined as a sequence of tasks that must be completed to attain a certain outcome. According to the Project Management Institute (PMI), the term Project refers to "to any temporary endeavor with a definite beginning and end". Depending on its complexity, it can be managed by a single person or hundreds. (source internet)
In the company
All work done for the company falls under a certain project/activity. For each activity, there is a project number. For example, building a system is a project as is reorganizing a desk or office or following a training course. For all activities, a project directory is available on the server where, in a structured manner, information is stored and retrieved. Access to a project resources could depend on the user's function in the organization. Time registration follows the same project/activity and produces management information.
Project Initiation/Start
Project Initiation Document (PID)
A solid start to a project is key, no matter how small or large a project is. A Project Initiation Document helps guide the team early on to a successful project start without creating too much extra work upfront. The PID is a living document that the team can fall back on. It also provides a safeguard if there is a change in resourcing or new team members are brought on to the team and is an ideal starting point for ramp-up. The Project Initiation Document (PID) is the first basic step to ensure your project sets off on the right foot. It sets the tone, context, expectations, and constraints. A template is available to create a PID.
Archiving & Registering
The Next step is to create a project directory on a file server with an accompanied standard directory structure. Also in the administration software to allow time registration.
Filing/Archive Structure
Directories/Folders
Where information is stored and referenced by departments/teams.
Listed are the base directories on a file server where the column "Ref." tells if a document is uniquely referenced or not.
| Directory | Sub-Dir | Ref. | Remarks |
|---|---|---|---|
| PROJECT | \<project-id> | Y | Accessible by all departments dealing with projects. Individual projects are accessible by participants of the project. |
| PRODUCT | \<product-id> | Y | Product information on and for certification and also production of systems. |
| SYSTEM | \<prod-id>\\<serial> | Y | Support and assembly information. |
| CUSTOMER | \<customer-id> | Y | By sales department accessible. |
| TEMPLATE | \<app-name> | N | All mandatory templates for new created documents. |
| LIBRARY | t.b.t. | N | Storage for company global accessible document like ISO, IEC, UL standards. |
| ARCHIVE | \<project-year> | Y | Read only location for obsolete (closed) projects, products, customers, systems and library |
The 'ARCHIVE' directory is there to prevent clogging and reduce overhead when searching for information.
Also reduces backup resources (size, time).
Note
Only PROJECT and TEMPLATE are elaborated on in this document.
The other ones are left for the imagination using common sens of course.
The 'PROJECT' Directory
General / Restrictions
The PROJECT directory only contains projects. Projects are represented by a directory having a certain format which is recognized as being a project.
Directory naming
The format is <type-code><year><seq-num> <description> where:
| Field | Length | Description |
|---|---|---|
| \<type‑code> | 2 | Code indicating the type of the project (see project types) |
| \<year> | 2 | Year the project started in. When closed it is also the year it is archived under. |
| \<seq‑num> | 4 | Sequential number for the project. Could be coming either from the financial project administration or generated by the person who creates the directory. |
| \<description> | Unlimited | Short descriptive text of the project |
Project types
List of project codes and types are.
| Type Code | Description |
|---|---|
| QA | Quality Assurance |
| QP | Quality Improvement Product |
Note
This list is incomplete and is subject to change due to advancing insight.
Sub-directories
The project directory has the following subdirectories. The column 'Ref' indicates whether files have a unique reference. The column 'Sub' indicates it is allowed to create subdirectories.
| Sub-Dir | Ref. | Sub | Description |
|---|---|---|---|
| CORR | Y | N | Correspondence like minutes of meeting, letters in/out, e-mail in/out. (important ones only). |
| DOC | Y | N | Documents produced by this project which are referenced. |
| MISC | N | Y | Miscellaneous files of this project but unable to be stored in a dedicated sub-dir. |
Note
This list is incomplete and is subject to change due to advancing insight.
File naming
Files which are referenced get a formatted prefix of <doc-type><year><month><day><user-code>[<sequence>] <subject>
where:
| Field | Length | Description |
|---|---|---|
| \<doc‑type> | 2,3 | Type of the document described in the table of document types. |
| \<year> | 2 | Document date year number. |
| \<month> | 2 | Document date month number. |
| \<day> | 2 | Document date day number. |
| \<user‑code> | 2,3 | Short code for the employee author or receiver. |
| \<sequence> | 2 | Optional sequential number for when the date is not enough to uniquely identify the document. |
Each type of document resides in a specific project subdirectory, so the reference of project number and filename is enough information to establish its path of origin.
Implementation
Company Wiki
To make this document easily accessible, it is placed on the general internal wiki and available as a printed document.
Templates & Reference
For most applications, templates are organized in a template directory on the file server in an organized, structured and logical manner to improve user productivity.
Office applications have a configuration option for templates and are configured as such.
Template files are named using the code for the type of document as a prefix.
For traceability, all templates, as far as it is possible, contain a reference block which contains the following elements if applicable.
| Element | Description | Remarks |
|---|---|---|
| By | Author(s) of the document | This can be multiple authors. |
| Created | Date of creation | Manually entered date when the document was initially created. |
| Printed | Automatic print date | When the application allows to this automatically. Can be used as an additional check on the version. In case of a PDF this is the generated date. |
| Issue | Version/Revision/Issue number | Manually entered number |
| Reference | Unique reference for tracing | See reference coding section for this. |
| File | Automatic generated file path | When the used application allows to this. |
Templates & Types
Template files are prefixed with mandatory document types, so there is no confusion on when to use them or name the document.
Column "Tpl" tells if a template is present for the document or not.
| Type | Tpl | Description | Location(s) |
|---|---|---|---|
| MEM | Y | Memorandum. | PROJECT/\<prj-num>/CORR |
| AGN | Y | Agenda of a meeting. | PROJECT/\<prj-num>/CORR |
| MOM | Y | Minutes of meeting. | PROJECT/\<prj-num>/CORR |
| PID | Y | Project Initiation document. | PROJECT/\<prj-num> |
| QW | Y | Quality assurance work instruction. | PROJECT/\<prj-num>/DOC |
| EI | N | E-mail incoming. (outlook saved file) | PROJECT/\<prj-num>/CORR |
| EO | N | E-mail outgoing. (outlook saved file) | PROJECT/\<prj-num>/CORR |
| LOG | Y | Product logging | PRODUCT/DETAIL/DTL\<seq-num> PRODUCT/ASSEMBLY/ASM\<seq-num> |
| HDS | Y | Hardware design specification | PRODUCT/ASM\<seq-num>/SPECS |
| SDS | Y | Software design specification | PRODUCT/ASM\<seq-num>/SPECS |
| APS | Y | Assembly part specification | PRODUCT/ASM\<seq-num>/SPECS |
Note
This is table subject to change when the need for additional templates arises.
Example Directory Structure
Below an example of a directory tree with some files in it.
Locating a document by reference QP22000.MOM220201AVO according to this work-instruction, is performed as follows.
The first QP22000 is recognized as being a project number by its format.
The second part starts with MOM which is recognized as a minutes-of-meeting type of document
that resides in the project subdirectory CORR for correspondence.
├── PROJECT
│ ├── QA22001 General Quality Assurance
│ │ ├── PID.QA22001.docx
│ │ ├── CORR
│ │ ├── DOC
| │ │ ├── IMG
| | │ │ └── Efficiency Improvement Images.vsdx
| │ │ ├── QA22001.QA220307AVO Company Efficiency Improvement.pdf
| │ │ ├── QA220307AVO Company Efficiency Improvement.docx
| │ │ ├── QW220124AVO Document Archive Structure.docx
| │ │ ├── QA22001.QW220124AVO Document Archive Structure.pdf
| │ │ └── QW220309AVO Technical Documentation & Manuals.docx
| │ └── MISC
| │ ├── AIMS QW010710AO Structuur Data Archivering.pdf
| │ ├── Security-Issues.docx
| │ └── Unresolved matters.docx
│ ├── QP22000 General Procedures Product Certification and Safety
│ │ ├── PID.QP22000.docx
│ │ ├── CORR
| │ │ ├── EI220217AVO RFI - PCB's en regulatie standaarden.msg
| │ │ ├── EI220223AVO PCB's en regulatie standaarden.msg
| │ │ ├── EO220217AVO RFI - PCB's en regulatie standaarden.msg
| │ │ ├── MEM220208AVO Standards where do they apply.docx
| │ │ ├── MEM220221AVO Remarks on XX-doc (Safety Design Examples).docx
| │ │ ├── MOM220201AVO Design rules implementation.docx
| │ │ ├── MOM220203AVO Procedure handling NCs.docx
| │ │ └── MOM220208AVO Meeting Safety Check.docx
│ │ ├── DOC
│ │ └── MISC
│ └── QP22001 Quality Improvement
│ ├── PID.docx
│ ├── CORR
│ ├── DOC
│ └── MISC
├── PRODUCT
│ └── ...
├── CUSTOMER
│ └── ...
├── LIBRARY
│ ├── Brand
│ │ └── Rittal
│ ├── Code of Practice
│ ├── Logo
│ ├── Miscellaneous
│ └── Standard
│ ├── IEC
│ └── NEN
└── TEMPLATE
└── MS Office
├── MS Office
│ ├── PID Project Initiation Document.dotx
│ ├── QW Quality Assurance Work Instruction.dotx
│ ├── AGN Project Meeting Agenda.dotx
│ ├── APS Assembly Part Specification.dotx
│ ├── BOM Bill of Materials - Product Parts.xltx
│ ├── HDS Hardware Design Specification.dotx.lnk
│ ├── LOG Product logging.dotx
│ ├── MEM Project Inter Office Memorandum.dotx
│ ├── MOM Project Minutes of Meeting.dotx
│ ├── MS Office
│ ├── PID Project Initiation Document.dotx
│ ├── QW Quality Assurance Work Instruction.dotx
│ └── SDS Software Design Specification.dotx.lnk
└── _READme.lnk (link to wiki)